SAGEBROADVIEW WEALTH MANAGEMENT, LLC
Adviser information for SAGEBROADVIEW WEALTH MANAGEMENT, LLC last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 586 | $317.6M |
| Non-Discretionary | 0 | $0 |
| Total | 586 | $317.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 47 | $15.4M |
| HNW Individuals | 97 | $300.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $2.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)BUSINESS CONSULTING |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-100506 |
|---|---|
| SEC ERA File Number | 801-100506 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 126472 |
| Legal Entity Identifier | None |
Principal Office
10 WATERSIDE DRIVESUITE 305
FARMINGTON
CT
United States
Monday - Friday, BY APPOINTMENT ONLY
Tel: 860-606-3580, Fax: 860-606-9484
Chief Compliance Officer
LAWRENCE J. ANNELLO
PARTNER
10 WATERSIDE DRIVE
SUITE 305
FARMINGTON
CT
United States
Tel:
860-606-3581
Fax:
860-606-9484
L****@****************M
(Full email address available in API data)
Regulatory Contact
DAVID PRINCIPE
PARTNER, FINANCIAL PLANNING MANAGER
10 WATERSIDE DRIVE
SUITE 305
FARMINGTON
CT
United States
Tel:
860-606-3582
Fax:
860-606-9484
D****@****************M
(Full email address available in API data)
Industry Affiliates
| SAGEBROADVIEW TAX, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ANNELLO, LAWRENCE, JAMES | Individual | SAGEBROADVIEW, INC. | DIRECTOR, PRESIDENT | 01/2020 | 25-50% |
| ANNELLO, LAWRENCE, JAMES | Individual | – | PARTNER, CHIEF COMPLIANCE OFFICER | 12/2000 | < 5% |
| CUPO, SHERI, IANNETTA | Individual | – | PARTNER | 01/2014 | < 5% |
| CUPO, SHERI, IANNETTA | Individual | SAGEBROADVIEW, INC. | DIRECTOR | 01/2020 | |
| SAGEBROADVIEW, INC. | Domestic Entity | – | MANAGING MEMBER | 01/2020 | > 75% |
| ANNELLO, CHRISTOPHER, JAMES | Individual | – | PARTNER | 07/2021 | < 5% |
| PRINCIPE, JOHN, DAVID | Individual | – | PARTNER | 07/2021 | < 5% |
| PRINCIPE, JOHN, DAVID | Individual | SAGEBROADVIEW, INC. | DIRECTOR, VICE PRESIDENT, SECRETARY | 01/2024 | 25-50% |
| ANNELLO, CHRISTOPHER, JAMES | Individual | SAGEBROADVIEW, INC. | DIRECTOR, VICE PRESIDENT, TREASURER | 01/2024 | 25-50% |